0001354488-11-001136.txt : 20110407 0001354488-11-001136.hdr.sgml : 20110407 20110407125059 ACCESSION NUMBER: 0001354488-11-001136 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20110406 FILED AS OF DATE: 20110407 DATE AS OF CHANGE: 20110407 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STEFANSKY DAVID CENTRAL INDEX KEY: 0001320581 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11745530 MAIL ADDRESS: STREET 1: MOBILE REACH INTERNATIONAL INC. STREET 2: 8000 REGENCY PARKWAY, SUITE 430 CITY: CARY STATE: NC ZIP: 27511 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alliqua, Inc. CENTRAL INDEX KEY: 0001054274 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 582349413 STATE OF INCORPORATION: FL FISCAL YEAR END: 1220 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE STREET 2: SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 800-518-4879 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE STREET 2: SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: HEPALIFE TECHNOLOGIES INC DATE OF NAME CHANGE: 20030529 FORMER COMPANY: FORMER CONFORMED NAME: ZETA CORP DATE OF NAME CHANGE: 20030219 FORMER COMPANY: FORMER CONFORMED NAME: ZETA CORP /CA DATE OF NAME CHANGE: 20000303 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENBLUM RICHARD CENTRAL INDEX KEY: 0001205074 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11745526 MAIL ADDRESS: STREET 1: 19 HORIZON DRIVE CITY: WAYNE STATE: NJ ZIP: 07470 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HARBORVIEW MASTER FUND LP CENTRAL INDEX KEY: 0001400704 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11745528 BUSINESS ADDRESS: STREET 1: HARBOUR HOUSE WATERFORD DRIVE STREET 2: PO BOX 972 CITY: TORTOLA STATE: D8 ZIP: 00000 BUSINESS PHONE: 294 694 4770 MAIL ADDRESS: STREET 1: HARBOUR HOUSE WATERFORD DRIVE STREET 2: PO BOX 972 CITY: TORTOLA STATE: D8 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harborview Advisors, LLC CENTRAL INDEX KEY: 0001492019 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11745529 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (646) 218-1400 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Harborview Value Master Fund, L.P. CENTRAL INDEX KEY: 0001509151 STATE OF INCORPORATION: D8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-29819 FILM NUMBER: 11745527 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (646) 218-1400 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE, SUITE 1801 CITY: NEW YORK STATE: NY ZIP: 10022 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2011-04-06 0 0001054274 Alliqua, Inc. [ALQA.OB] 0001492019 Harborview Advisors, LLC 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 1 1 1 0 - 0001400704 HARBORVIEW MASTER FUND LP 850 THIRD AVENUE SUITE 1801 NEW YORK NY 10022 0 0 1 0 0001509151 Harborview Value Master Fund, L.P. 850 THIRD AVENUE, SUITE 1801 NEW YORK NY 10022 0 0 1 0 0001205074 ROSENBLUM RICHARD 19 HORIZON DRIVE WAYNE NJ 07470 1 1 1 0 - 0001320581 STEFANSKY DAVID MOBILE REACH INTERNATIONAL INC. 8000 REGENCY PARKWAY, SUITE 430 CARY NC 27511 1 1 1 0 - Common Stock 2011-04-06 4 P 0 50000 0.16 A 35844498 I See Footnotes Common Stock 2011-04-06 4 P 0 50000 0.16 A 35894498 I See Footnotes This statement is jointly filed by and on behalf of each of Harborview Master Fund, L.P. ("Harborview Master Fund"), Harborview Value Master Fund, L.P. ("Harborview Value Fund"), Harborview Advisors, LLC ("Harborview Advisors"), Richard Rosenblum and David Stefansky. Harborview Master Fund, Harborview Value Fund, and Messrs. Rosenblum and Stefansky are the record and direct beneficial owners of the securities covered by this statement. Harborview Advisors is the general partner of, and may be deemed to beneficially own securities owned by, each of Harborview Master Fund and Harborview Value Fund. Messrs. Rosenblum and Stefansky are the managing members of, and may be deemed to beneficially own securities owned by, Harborview Advisors. Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act") or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer. Includes (a) 27,981,999 shares of common stock directly beneficially owned by Harborview Master Fund and (b) 7,812,499 shares of common stock directly beneficially owned by Harvorview Value Fund. Mr. Rosenblum purchased 50,000 shares of common stock on the open market on April 6, 2011. Mr. Stefansky purchased 50,000 shares of common stock on the open market on April 6, 2011. Exhibit Index Exhibit 99.1 - Joint Filer Information (furnished herewith) Exhibit 99.2 - Joint Filing Agreement (furnished herewith) HARBORVIEW MASTER FUND, L.P., By: Harborview Advisors, LLC, Its: General Partner, By: /s/ Richard Rosenblum, Name: Richard Rosenblum, Title: Managing Member 2011-04-07 HARBORVIEW VALUE MASTER FUND, L.P., By: Harborview Advisors, LLC, Its: General Partner, By: /s/ Richard Rosenblum, Name: Richard Rosenblum, Title: Managing Member 2011-04-07 HARBORVIEW ADVISORS, LLC, By: /s/ Richard Rosenblum, Name: Richard Rosenblum, Title: Managing Member 2011-04-07 /s/ Richard Rosenblum, Name: Richard Rosenblum 2011-04-07 /s/ David Stefansky, Name: David Stefansky 2011-04-07 EX-99.1 2 alqa_ex991.htm JOIN FILER INFORMATION Unassociated Document
EXHIBIT 99.1


JOINT FILER INFORMATION

Other Reporting Person(s)

1.           HARBORVIEW MASTER FUND, L.P.

Item
Information
Name:
HARBORVIEW MASTER FUND, L.P.
 
Address:
850 Third Avenue, Suite 1801, New York, New York 10022
 
Designated Filer:
Harborview Advisors, LLC
 
Date of Event Requiring Statement (Month/Day/Year):
 
April 6, 2011
Issuer Name and Ticker or Trading Symbol:
 
Alliqua, Inc. [ALQA.OB]
Relationship of Reporting Person(s) to Issuer:
 
10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
Not Applicable
Individual or Joint/Group Filing:
Form filed by More than One Reporting Person
 
Signature:
By:
Harborview Advisors, LLC
  
 
Its:
General Partner
  
       
 
By:
/s/ Richard Rosenblum
  
 
Name:
Richard Rosenblum
  
 
Title:
Managing Member
  
 
Date:
April 7, 2011
  


 
 
 


2.           HARBORVIEW VALUE MASTER FUND, L.P.
 
Item
Information
Name:
HARBORVIEW VALUE MASTER FUND, L.P.
 
Address:
850 Third Avenue, Suite 1801, New York, New York 10022
 
Designated Filer:
Harborview Advisors, LLC
 
Date of Event Requiring Statement (Month/Day/Year):
 
April 6, 2011
Issuer Name and Ticker or Trading Symbol:
 
Alliqua, Inc. [ALQA.OB]
Relationship of Reporting Person(s) to Issuer:
 
10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
Not Applicable
Individual or Joint/Group Filing:
Form filed by More than One Reporting Person
 
Signature:
By:
Harborview Advisors, LLC
  
 
Its:
General Partner
  
       
 
By:
/s/ Richard Rosenblum
  
 
Name:
Richard Rosenblum
  
 
Title:
Managing Member
  
 
Date:
April 7, 2011
  

 
 


 
 
 

3.           RICHARD ROSENBLUM
 
Item
Information
Name:
RICHARD ROSENBLUM
 
Address:
850 Third Avenue, Suite 1801, New York, New York 10022
 
Designated Filer:
Harborview Advisors, LLC
 
Date of Event Requiring Statement (Month/Day/Year):
 
April 6, 2011
Issuer Name and Ticker or Trading Symbol:
 
Alliqua, Inc. [ALQA.OB]
Relationship of Reporting Person(s) to Issuer:
 
Director, Officer and 10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
Not Applicable
Individual or Joint/Group Filing:
Form filed by More than One Reporting Person
 
Signature:
 
 
  
 
By:
/s/ Richard Rosenblum
  
 
Name:
Richard Rosenblum
  
 
Date:
April 7, 2011
  

 
 

 
 
 

4.           DAVID STEFANSKY
 
Item
Information
Name:
DAVID STEFANSKY
 
Address:
850 Third Avenue, Suite 1801, New York, New York 10022
 
Designated Filer:
Harborview Advisors, LLC
 
Date of Event Requiring Statement (Month/Day/Year):
 
April 6, 2011
Issuer Name and Ticker or Trading Symbol:
 
Alliqua, Inc. [ALQA.OB]
Relationship of Reporting Person(s) to Issuer:
 
Director, Officer and 10% Owner
If Amendment, Date Original Filed (Month/Day/Year):
 
Not Applicable
Individual or Joint/Group Filing:
Form filed by More than One Reporting Person
 
Signature:
 
 
  
 
By:
/s/ David Stefansky
  
 
Name:
David Stefansky
  
 
Date:
April 7, 2011
  

 
 

 EX-99.2 3 alqa_ex992.htm JOINT FILING AGREEMENT Unassociated Document
EXHIBIT 99.2

JOINT FILING AGREEMENT

Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto.  This agreement shall remain in full force and effect until revoked by any party hereto in a signed writing provided to each other party hereto, and then only with respect to such revoking party.

IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused this agreement to be executed and effective as of the date set forth below.

Date: April 7, 2011
Harborview Master Fund, L.P.
  
       
 
By:
Harborview Advisors, LLC
  
 
Its:
General Partner
  
       
 
By:
/s/ Richard Rosenblum
  
 
Name:
Richard Rosenblum
  
 
Title:
Managing Member
  
       
 
Harborview Value Master Fund, L.P.
  
       
 
By:
Harborview Advisors, LLC
  
 
Its:
General Partner
  
       
 
By:
/s/ Richard Rosenblum
  
 
Name:
Richard Rosenblum
  
 
Title:
Managing Member
  
       
 
Harborview Advisors, LLC
  
       
 
By:
/s/ Richard Rosenblum
  
 
Name:
Richard Rosenblum
  
 
Title:
Managing Member
  
       
 
Richard Rosenblum
  
       
 
/s/ Richard Rosenblum
  
 
Name:
Richard Rosenblum
  
       
 
David Stefansky
  
       
 
/s/ David Stefansky
  
 
Name:
David Stefansky